Violation Tracker Summary for Primary Offense Type

Offense Type: 
investor protection violation
Penalty Total since 2000: 
$76,640,549,067
Number of Penalty Records: 
5,395
Note: 
The totals here are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.

Top 10 Parent CompaniesTotal Penalty $Number of Records
Bank of America$13,398,455,23576
UBS$11,623,979,90947
Citigroup$8,091,160,13534
JPMorgan Chase$5,023,349,59942
Morgan Stanley$4,104,393,95288
Deutsche Bank$3,994,334,82825
Goldman Sachs$3,738,695,98725
Wells Fargo$2,425,119,26153
American International Group$1,618,900,0005
MF Global$1,324,000,0003


Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.
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Companysort icon Parent Parent Major Industry Year Agency Penalty Amount
Wedgewood Properties, LLC   2016 MI-SEC $5,000
Wedgewood Properties, LLC   2018 MI-SEC $60,000
Wedbush Securities Inc. Wedbush Securities financial services 2014 SEC $67,200
Wedbush Securities Inc. Wedbush Securities financial services 2018 SEC $1,304,197
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $250,000
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $8,100,000
Wedbush Securities Inc. Wedbush Securities financial services 2019 SEC $1,852,540
Wedbush Securities Inc. Wedbush Securities financial services 2016 TN-SEC $30,000
Wedbush Securities Wedbush Securities financial services 2014 SEC $2,440,000
WebRotator, Inc.   2019 WA-FIN $65,000
Wealthfront Advisers LLC   2018 SEC $250,000
WealthForge Securities, LLC and WealthForge Holdings, Inc.   2020 VA-SEC $50,000
WealthCFO, LLC   2018 SEC $409,405
WealthCare, LLC   2016 MO-SEC $5,000
WealthBuilders.Name LLC   2019 IL-SEC $10,000
Wealth Matters, Inc.   2009 VA-SEC $5,000
Wealth Management LLC   2010 SEC $1,471,002
Wealth Management Institute, Ltd.   2005 MD-SEC $13,406
Wealth Management Group, Inc.   2017 MI-SEC $5,000
Wealth Management and Marketing LLC   2010 MD-SEC $180,000
Wealth Investors LLC   2017 TN-SEC $5,000
Wealth Financial International, LLC   2011 MO-SEC $365,942
Wealth Enhancement & Preservation, LLC   2009 AZ-SEC $145,006
Wealth Creator Private Equity, LLC   2019 AZ-SEC $35,000
Wealth by Design, Inc. and Clinton D. Fraley Living Trust   2012 CO-SEC $365,252
WCM Investment Management   2005 IL-SEC $12,500
WCM Global Wealth, LLC   2015 CA-DBO $5,000
WCM Financial Services and Equity Options, Inc.   2013 OR-FIN $30,000
WCAS Management Corporation?   2018 SEC $778,819
WCAS Management Corporation   2020 SEC $100,000
WBI Investments Inc.   2020 SEC $750,000
Wayne Player Productions, LLC   2014 NJ-BOS $1,169,229
Watkins Development, LLC   2014 MS-SEC $680,131
Water Island Capital LLC   2015 SEC $50,000
Waste Management, Inc. Waste Management waste management and environmental services 2001 CT-AG $457,000,000
Washington Wealth Management, LLC   2016 SEC $50,000
WASHINGTON SQUARE SECURITIES   2002 VA-SEC $15,000
Warrior Fund LLC   2010 SEC $221,384
Warren Exploration, LLC   2007 AZ-SEC $122,000
Warren & Massey Asset Management Ltd., Inc.   2009 MO-SEC $16,430
Warner Financial Group Inc.   2013 TX-SEC $5,000
Warenhandelsgesellschaft Corinth, m.b.H.   2005 CFTC $25,000
Warburg Dillon Read LLC UBS financial services 2000 SEC $6,680,000
War Chest Capital Partners LLC   2015 SEC $351,818
War Chest Capital Partners   2013 SEC $327,569
Walton Financial, LLC   2017 CO-SEC $150,000
Walsh Trading Inc.   2009 CFTC $50,000
WallStreet*E Financial Services, Inc.   2010 FL-OFR $162,500
Wall Street Underground, Inc.   2006 CFTC $9,500,000
Wall Street Radio, Inc. dba Winning on Wall Street   2016 CO-SEC $80,000
Wall Street Pirate Management, LLC   2017 CFTC $125,000
Wall Street Financial Group, Inc.   2001 FL-OFR $10,000
Wall Street Financial Group Inc.   2013 PA-BKG $100,000
Wall Street Capital Funding LLC   2011 SEC $300,000
Wall Street Access   2006 SEC $688,084
Wall Private Wealth LLC   2017 PA-BKG $10,000
Walker Financial Advisors, Inc.   2013 CA-DBO $27,600
Walgreens Boots Alliance Inc. Walgreens Boots Alliance retailing 2018 SEC $34,500,000
Wagner Capital Management, LLC   2019 AZ-SEC $71,928
Wadsworth Investment Co., Inc.   2012 CT-SEC $77,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2006 SEC $50,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2006 NY-AG (*) $75,000,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2003 FL-OFR $8,800
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2006 MO-SEC $172,161
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2005 MT-SEC $25,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2016 NH-BSR $900,000
Waddell & Reed, Inc. Waddell & Reed Financial Inc. financial services 2005 MULTI-FIN $18,000,000
Waddell & Reed Inc. Waddell & Reed Financial Inc. financial services 2008 OK-SEC $10,000
Wachovia Securities, LLC nka Wells Fargo Advisors, LLC Wells Fargo financial services 2010 CT-SEC $75,000
Wachovia Securities, LLC Wells Fargo financial services 2004 SEC $4,844,465
Wachovia Securities, LLC Wells Fargo financial services 2009 DE-AG $309,000
Wachovia Securities, LLC Wells Fargo financial services 2011 NJ-AG $3,200,000
Wachovia Securities, LLC Wells Fargo financial services 2010 AK-DBS $129,131
Wachovia Securities, LLC Wells Fargo financial services 2008 MD-SEC $50,000
Wachovia Securities LLC Wells Fargo financial services 2007 ND-SEC $75,000
Wachovia Securities LLC Wells Fargo financial services 2008 MULTI-FIN (*) $50,000,000
Wachovia Securities Wells Fargo financial services 2008 MULTI-AG $60,000,000
Wachovia Corporation Wells Fargo financial services 2004 SEC $37,000,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2006 SEC $125,000
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 MD-AG $402,386
Wachovia Capital Markets, LLC Wells Fargo financial services 2007 CT-SEC $258,728
Wachovia Capital Markets LLC Wells Fargo financial services 2006 MULTI-AG $25,000,000
Wachovia Capital Markets LLC Wells Fargo financial services 2007 MULTI-FIN $24,650,000
W.R Starkey Mortgage, LLP   2010 AR-SEC $20,000
W.L. Lyons, LLC   2016 SEC $200,000
W.J. Nolan & Co., Inc.   2002 SEC $192,028
W.J. Nolan & Co.   2001 SEC $192,028
W Resources LLC   2017 CFTC $150,000
W & R Insurance Agency of Montana, Inc.   2005 MT-SEC $25,000
VTR Capital, Inc. nka Fairchild Financial Group, Inc.   2000 FL-OFR $12,000
Vstock Transfer LLC   2020 SEC $65,000
VSS Fund Management LLC   2018 SEC $200,000
VSR Financial Services, Inc.   2011 MO-SEC $55,470
Voyager Financial Group, LLC   2013 IA-INS $10,000
Voya Holdings Inc. Voya Financial financial services 2018 SEC $3,600,000
Voya Financial Advisors, Inc. fka ING Financial Partners, Inc. Voya Financial financial services 2019 CT-SEC $1,015,000
Voya Financial Advisors, Inc. Voya Financial financial services 2017 SEC $3,095,953
Voya Financial Advisors Inc. Voya Financial financial services 2018 SEC $1,000,000
VOS Capital Management, LLC   2020 CFTC $3,813,875
Vollero Beach Capital Partners   2013 SEC $864,427
Voice, Video & Data Services, Inc.   2008 KY-FIN $10,000
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(*): Some penalties are partial or complete duplicates of other penalty records, either because a DOJ settlement duplicates an agency record or because EPA listed the full penalty for a company for each of the company's relevant facilities. Penalty amounts marked with an asterisk have been identified by Good Jobs First as duplicating other penalty amounts.